Regulatory Compliance Guide - RCPA

1 DRAFT Not for Implementation 55 Chapter 6400 Community Homes for Individuals with an Intellectual Disability or Autism Public Comment Version May 7, 2019 Edition Office of Developmental Programs Regulatory Compliance Guide A Tool for Community Home Regulators, Operators, and Stakeholders DRAFT Not for Implementation Introduction What is this Guide , and why do I need it? 55 Ch. 6400 (Relating to Community Homes for Individuals with Intellectual Disabilities or Autism) establishes the minimum requirements to operate a community home for individuals with intellectual disabilities or autism in the Commonwealth of Pennsylvania. In most cases, the regulations speak for themselves. There are, however, some regulations that require additional clarification. Even when the meaning of a regulation is very clear, the purpose and intent of the regulation may not be.

2 There are also different ways to measure Regulatory Compliance , and both operators and licensing staffs need to know how Compliance will be determined. This Guide is meant to help operators and licensing staffs better understand and apply the regulations. The Regulatory Compliance Guide , or RCG, is a companion piece to the Chapter 6400 regulations; it should be used along with the regulations, not instead of them. The explanatory material in this Guide is not meant to be new regulations or to extend meaning of the regulations beyond their original intent. This Guide has been developed to provide clear explanations of the Regulatory requirements of Chapter 6400 to help providers provide safe environments and effective services to individuals through Regulatory Compliance , and to help regulators protect individuals by conducting consistent and comprehensive inspections.

3 It provides a detailed explanation of each Regulatory requirement, including expectations for Compliance , guidelines for measuring Compliance , and the primary purpose for the requirement. In addition, this Guide includes general Regulatory requirements and procedures, a glossary of Regulatory terms, overviews of complex Regulatory issues to provide a more global understanding of the chapter and its purpose. licensing Requirements versus Waiver Requirements Chapter 6400 contains the minimum requirements that shall be met to obtain and maintain a license to operate a Community Home. Most but not all 6400 licensees are also enrolled as providers of Office of Developmental Programs (ODP) Home and Community-Based Waiver services ( Waiver providers ). Waiver providers must meet additional requirements beyond Chapter 6400 as established by the Department s Consolidated and Adult Autism Waivers, the terms of their ODP Provider Agreements, and 55 Chapter 6100 (Relating to Services for Individuals with an Intellectual Disability or Autism)1.

4 Adult Community Autism Program (ACAP) providers are not considered waiver providers for purposes of this Guide ; ACAP providers should refer to their ACAP agreements for requirements beyond Chapter 6400. Portions of this Guide provide information on the relationship between the Chapter 6400 regulations and additional requirements for Waiver providers. Please note that such information 1 Chapter 6100 requirements also apply to base-funded providers; the For Waiver Providers section also applies to base-funded providers of the Residential Habilitation service. DRAFT Not for Implementation is not provided for purposes of maintaining Regulatory Compliance with Chapter 6400, but rather to ensure that providers are better able to differentiate between what is required for licensure and what is required to provide Waiver services.

5 DRAFT Not for Implementation Using the Regulatory Compliance Guide Each regulation that can be measured during an inspection is included in the RCG and is accompanied by clarifying information. The illustration below shows how regulations are presented and how to effectively use the Guide : 43c (c) - A chief executive officer shall have one of the following groups of qualifications: (1) A master s degree or above from an accredited college or university and 2 years work experience in administration or the human services field. (2) A bachelor s degree from an accredited college or university and 4 years work experience in administration or the human services field. Discussion: Master s and Bachelor s degrees do not need to be in any specific field or academic discipline. Honorary degrees are not acceptable. Volunteer work and intern work may be counted as work experience.

6 Human services field includes, but is not necessarily limited to: Anthropology Criminal Justice Music Therapy Recreational Therapy Art/Dance Therapy Divinity/Religion/Theology Nursing/Medicine Rehabilitation Counseling Audiology Drama Therapy Nutrition Social Work Child Development/Family Relations Education Occupational Therapy Sociology Community Mental Health Gerontology Pastoral Counseling Special Education Chemical Dependence Administration Health Administration Physical Therapy Speech Pathology Counseling/Guidance Health Education Psychology Vocational Counseling Inspection Procedures: licensing staffs will review the CEO s degree or official college transcript and resume to determine Compliance . The Discussion section provides information about applying the regulation, including referencing other regulations and applicable narratives.

7 The Inspection Procedures section describes how licensing staff may measure Compliance with the regulation. This portion lists the regulation exactly as it appears in Chapter 6400 DRAFT Not for Implementation Primary Benefit: Ensures that the CEO has the required education and work experience to oversee services and supports provided to individuals. For Waiver Providers: Per the Consolidated Waiver, in the case of an entity enrolled on or after November 1, 2018 to provide Residential Habilitation services, or a current provider hiring new executive level staff, one of the following must have a minimum of five years experience as a manager with responsibility for providing residential services for individuals with an intellectual disability, developmental disability, autism and/or serious mental illness and a bachelor s degree: Executive Director of Residential Services; or, Chief Executive Officer; or, Chief Operations Officer; or, Director, Assistant or Associate Director of Residential Services.

8 This is not a Chapter 6400 requirement and is not required for licensure, but any 6400 licensee that wishes to render waiver-funded Residential Habilitation must meet this requirement in order to successfully enroll as an ODP provider. The Primary Benefit section explains how the regulation protects individuals health, safety, and well-being. The For Waiver Providers provides information that is not related to licensing requirements but is important for Waiver providers to know and understand. Communication with Individuals and Designated Persons ODP is committed to ensuring effective communication. It is a fact that everyone can communicate. Communication includes, but is not limited to: Oral communication Behaviors manifested to communicate person s needs, wants, and desires, as identified on the Individual Plan. Sign Language, including American Sign Language; Sign Language from other countries, such as Spanish Sign Language; Signed Exact English; a mixture of American Sign Language and signed English; or tactile sign.

9 Visual-Gestural Communication Voice Output Device Communication Augmentative and Alternative Communication (AAC) Picture Exchange Paralinguistics Haptics / Touch cues Artifacts, Texture Cues, and/or Objects of Reference Braille Print and Symbol Systems Speech, Voice and Language Interpretation Eye-Gaze and Partner-Assisted Scanning Failure to engage in receptive and/or expressive communication using a communication method understood by the individual or a person designated by the individual is considered to be discrimination against the individual based on the individual s disability, and will result in violation of (a). For Waiver Providers: In addition to the above, 55 requires that written, oral and other forms of communication with the individual, and persons designated by the individual, shall occur in a language and means of communication understood by the individual or a person designated by the individual.

10 Any 6400 regulation that requires communication with an individual must occur in a language and means of communication understood by the individual as a condition of enrollment as an ODP provider. 4 | P a g e D R A F T , N o t f o r I m p l e m e n t a t i o n Generally The term generally appears many times in this Guide when clarifying the meaning of a term used in a regulation. It does not constitute a strict interpretation or Regulatory definition of the clarified term, nor does it limit the term s interpretation by the Department. Provider The term provider is used throughout the Guide ; the term as used here means a person, entity or agency that delivers a service to the individual. Unless otherwise specified, it applies to all staff employed or contracted with a provider agency. When a regulation reads home, the term should be interpreted to include the provider agency as a whole.